Violation Tracker Individual Record

Company: 
Credit Suisse Securities (USA) LLC
Current Parent Company: 
Credit Suisse
Penalty: 
$54,300,000
Year: 
2016
Date: 
January 31, 2016
Primary Offense: 
investor protection violation
Violation Description: 

The Securities and Exchange Commission announced that Barclays Capital Inc. and Credit Suisse Securities (USA) LLC agreed to settle separate cases finding that they violated federal securities laws while operating alternative trading systems known as dark pools and Credit Suisse's Light Pool.

Level of Government: 
federal
Action Type: 
agency action
Agency: 
Securities and Exchange Commission
Civil or Criminal Case: 
civil
HQ Country of Parent: 
Switzerland
Ownership Structure of Parent: 
publicly traded
Major Industry of Parent: 
financial services
Specific Industry of Parent: 
banking & securities
Source Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.